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REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2001
REC 3.22 Restriction of, or instruction to close out, open positions
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PERG 8.17 Financial promotions concerning agreements for qualifying credit
As Published: 2005
PERG 8.17 Financial promotions concerning agreements for qualifying credit
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PERG 7.3 Does the activity require authorisation?
As Published: 2005
PERG 7.3 Does the activity require authorisation?
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SYSC 2.1 Apportionment of Responsibilities
As Published: 2002
SYSC 2.1 Apportionment of Responsibilities
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SUP 12.3 What responsibility does a firm have for its appointed representatives ?
As Published: 2001
SUP 12.3 What responsibility does a firm have for its appointed representatives ?
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REC 6.8 Powers of direction and revocation of recognition orders
As Published: 2001
REC 6.8 Powers of direction and revocation of recognition orders
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SUP 12.6 Continuing obligations of firms with appointed representatives
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives
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COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
As Published: 2004
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
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